Nex Systems
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ANDREW J. ARAGONA

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    05/02/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ANDREW J. ARAGONA (CRD No. 1320844), Respondent. Disciplinary Proceeding No.2010023963301 Hearing Officer-Andrew H. Perkins DEFAULT DECISION May 2, 2012 Respondent is suspended for one year from associating with any FINRA registered firm in any capacity and fined $138,500 (including disgorgement of commissions) for making

    11/30/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Andrew J. Aragona (CRD No. 1320844), Respondent. DISCIPLINARY PROCEEDING No.2010023963301 Hearing Officer-TBD COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Aragona recommended two variable annuity switches that were not suitable for an elderly customer because the purported benefits of the switches were

    Reference 2010023963301data-portal.finra.orgdata-portal.finra.orgfinra.org

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